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| Share Name | Share Symbol | Market | Type | Share ISIN | Share Description |
|---|---|---|---|---|---|
| Berkeley Energia Limited | LSE:BKY | London | Ordinary Share | AU000000BKY0 | ORD NPV (DI) |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.00 | 0.00% | 18.00 | 17.50 | 18.50 | 18.00 | 18.00 | 18.00 | 0.00 | 08:00:00 |
| Industry Sector | Turnover | Profit | EPS - Basic | PE Ratio | Market Cap |
|---|---|---|---|---|---|
| Gold Ores | 0 | -1.37M | -0.0031 | -109.68 | 151.57M |
TIDMBKY
RNS Number : 5813T
Berkeley Energia Limited
26 March 2021
BERKELEY ENERGIA LIMITED
NEWS RELEASE | 2 6 March 2021
Issue of shares on exercise of unlisted options
Berkeley Energia Limited (Company) has today issued 376,480 fully paid ordinary following the exercise of A$0.35 unlisted options.
800,000 unlisted options were exercised pursuant to a cashless exercise facility, resulting in the issue of 376,480 shares, per the Company's shareholder approved long-term incentive equity plan.
Application will be made to the London and Spanish Stock Exchanges for the new ordinary shares, which rank pari passu with the Company's existing issued ordinary shares, to be admitted to trading on the LSE (as depository interests) and to the Spanish Stock Exchanges. Dealings are expected to commence in due course (Admission).
The Company's issued ordinary share capital following Admission is 258,981,900 ordinary shares.
The above figure of 258,981,900 ordinary shares may be used by shareholders as the denominator for the calculations by which they will determine if they are required to notify their interest in, or a change to their interest in, the share capital of the Company, under the FCA's Disclosure and Transparency Rules and the CNMVs Listing rules.
An Appendix 2A has been provided below.
For further information, please contact:
Dylan Browne
Company Secretary
+61 8 9322 6322
info@berkeleyenergia.com
Appendix 2A
Application for quotation of +securities
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX's property and may be made public.
If you are an entity incorporated outside Australia and you are seeking quotation of a new class of +securities other than CDIs, you will need to obtain and provide an International Securities Identification Number (ISIN) for that class. Further information on the requirement for the notification of an ISIN is available from the Create Online Forms page. ASX is unable to create the new ISIN for non-Australian issuers.
*Denotes minimum information required for first lodgement of this form, with exceptions provided in specific notes for certain questions. The balance of the information, where applicable, must be provided as soon as reasonably practicable by the entity.
Part 1 - Entity and announcement details
Hot Features
Premium
Question Question Answer
no
1.1 *Name of entity Berkeley Energia Limited
We (the entity here named)
apply for +quotation of the
following +securities and
agree to the matters set
out in Appendix 2A of the
ASX Listing Rules. ([1])
--------------------------------------------------- --------------------------------------
1.2 *Registration type and number ABN: 40 052 468 569
Please supply your ABN, ARSN,
ARBN, ACN or another registration
type and number (if you supply
another registration type,
please specify both the type
of registration and the registration
number).
--------------------------------------------------- --------------------------------------
1.3 *ASX issuer code BKY
--------------------------------------------------- --------------------------------------
1.4 *This announcement is A new announcement
Tick whichever is applicable. An update/amendment to a
previous announcement
A cancellation of a previous
announcement
--------------------------------------------------- --------------------------------------
1.4a *Reason for update Not applicable
Mandatory only if "Update"
ticked in Q1.4 above. A reason
must be provided for an update.
--------------------------------------------------- --------------------------------------
1.4b *Date of previous announcement Not applicable
to this update
Mandatory only if "Update"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.4c *Reason for cancellation Not applicable
Mandatory only if "Cancellation"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.4d *Date of previous announcement Not applicable
to this cancellation
Mandatory only if "Cancellation"
ticked in Q1.4 above.
--------------------------------------------------- --------------------------------------
1.5 *Date of this announcement 26 March 2021
--------------------------------------------------- --------------------------------------
Part 2 - Type of issue
Question Question Answer
No.
2.1 *The + securities to be quoted Being issued as part of
are: a transaction or transactions
Select whichever item is applicable. previously announced to the
If you wish to apply for quotation market in an Appendix 3B
of different types of issues Being issued under a +dividend
of securities, please complete or distribution plan
a separate Appendix 2A for Being issued as a result
each type of issue. of options being exercised
or other +convertible securities
being converted
Unquoted partly paid +securities
that have been paid up and
are now quoted fully paid
+securities
+Restricted securities where
the escrow period has expired
or is about to expire
+Securities previously issued
under an +employee incentive
scheme where the restrictions
on transfer have ceased or
are about to cease
+Securities issued under
an +employee incentive scheme
that are not subject to a
restriction on transfer or
that are to be quoted notwithstanding
there is a restriction on
transfer
Other
----------------------------------------------------- --------------------------------------------------
2.2a.1 *Date of Appendix 3B notifying Not applicable
the market of the proposed
issue of +securities for which
quotation is now being sought
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B"
----------------------------------------------------- --------------------------------------------------
2.2a.2 *Are there any further issues Not applicable
of +securities yet to take
place to complete the transaction(s)
referred to in the Appendix
3B?
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B".
----------------------------------------------------- --------------------------------------------------
2.2a.2.1 *Please provide details of Not applicable
the further issues of +securities
yet to take place to complete
the transaction(s) referred
to in the Appendix 3B
Answer this question if your
response to Q2.1 is "Being
issued as part of a transaction
or transactions previously
announced to the market in
an Appendix 3B" and your response
to Q2.2a.2 is "Yes".
Please provide details of
the proposed dates and number
of securities for the further
issues. This may be the case,
for example, if the Appendix
3B related to an accelerated
pro rata offer with an institutional
component being quoted on
one date and a retail component
being quoted on a later date.
----------------------------------------------------- --------------------------------------------------
2.2b.1 *Date of Appendix 3A.1 lodged Not applicable
with ASX in relation to the
underlying +dividend or distribution
Answer this question if your
response to Q2.1 is "Being
issued under a dividend or
distribution plan".
----------------------------------------------------- --------------------------------------------------
2.2b.2 *Does the +dividend or distribution Not applicable
plan meet the requirement
of listing rule 7.2 exception
4 that it does not impose
a limit on participation?
Answer this question if your
response to Q2.1 is "Being
issued under a dividend or
distribution plan".
Note: Exception 4 only applies
where security holders are
able to elect to receive all
of their dividend or distribution
as securities. For example,
Exception 4 would not apply
in the following circumstances:
1) The entity has specified
a dollar limit on the level
of participation e.g. security
holders can only participate
to a maximum value of $x in
respect of their entitlement,
or 2) The entity has specified
a maximum number of securities
that can participate in the
plan e.g. security holders
can only receive securities
in lieu of dividend payable
for x number of securities.
----------------------------------------------------- --------------------------------------------------
2.2c.1 Please state the number and 800,000 unlisted options
type of options that were exercisable at A$0.35 each
exercised or other +convertible on or before 31 December
securities that were converted 2022 (ASX Code - BKYAT)
(including their ASX security
code)
Answer this question if your
response to Q2.1 is "Being
issued as a result of options
being exercised or other convertible
securities being converted".
----------------------------------------------------- --------------------------------------------------
2.2c.2 And the date the options were 26 March 2021
exercised or other +convertible
securities were converted
Answer this question if your
response to Q2.1 is "Being
issued as a result of options
being exercised or other convertible
securities being converted".
Note: If this occurred over
a range of dates, enter the
date the last of the options
was exercised or convertible
securities was converted.
----------------------------------------------------- --------------------------------------------------
2.2d.1 Please state the number and Not applicable
type of partly paid +securities
(including their ASX security
code) that were fully paid
up
Answer this question if your
response to Q2.1 is "Unquoted
partly paid securities that
have been paid up and are
now quoted fully paid securities".
----------------------------------------------------- --------------------------------------------------
2.2d.2 And the date the + securities Not applicable
were fully paid up
Answer this question if your
response to Q2.1 is "Unquoted
partly paid securities that
have been paid up and are
now quoted fully paid securities".
Note: If this occurred over
a range of dates, enter the
date the last of the securities
was fully paid up.
----------------------------------------------------- --------------------------------------------------
2.2e.1 Please state the number and Not applicable
type of +restricted securities
(including their ASX security
code) where the escrow period
has expired or is about to
expire
Answer this question if your
response to Q2.1 is "Restricted
securities where the escrow
period has expired or is about
to expire".
----------------------------------------------------- --------------------------------------------------
2.2e.2 And the date the escrow restrictions Not applicable
have ceased or will cease
Answer this question if your
response to Q2.1 is "Restricted
securities where the escrow
period has expired or is about
to expire".
Note: If this occurred over
a range of dates, enter the
date the last of the escrow
restrictions has ceased or
will cease.
----------------------------------------------------- --------------------------------------------------
2.2f.1 Please state the number and Not applicable
type of +securities (including
their ASX security code) previously
issued under the +employee
incentive scheme where the
restrictions on transfer have
ceased or are about to cease
Answer this question if your
response to Q2.1 is "Securities
previously issued under an
employee incentive scheme
where the restrictions on
transfer have ceased or are
about to cease".
----------------------------------------------------- --------------------------------------------------
2.2f.2 And the date the restrictions Not applicable
on transfer have ceased or
will cease:
Answer this question if your
response to Q2.1 is "Securities
previously issued under an
employee incentive scheme
where the restrictions on
transfer have ceased or are
about to cease".
Note: If this occurred over
a range of dates, enter the
date the last of the restrictions
on transfer has ceased or
will cease.
----------------------------------------------------- --------------------------------------------------
2.2g.1 Please state the number and Not applicable
type of +securities (including
their ASX security code) issued
under an +employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted
notwithstanding
there is a restriction on
transfer
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted
notwithstanding
there is a restriction on
transfer".
----------------------------------------------------- --------------------------------------------------
2.2g.2 *Please attach a document Not applicable
or provide details of a URL
link for a document lodged
with ASX detailing the terms
of the + employee incentive
scheme or a summary of the
terms.
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted
notwithstanding
there is a restriction on
transfer".
----------------------------------------------------- --------------------------------------------------
2.2g.3 *Are any of these +securities Not applicable
being issued to +key management
personnel (KMP) or an +associate
Answer this question if your
response to Q2.1 is "Securities
issued under an employee incentive
scheme that are not subject
to a restriction on transfer
or that are to be quoted
notwithstanding
there is a restriction on
transfer".
----------------------------------------------------- --------------------------------------------------
2.2g.3.a *Provide details of the recipients and the number of
+securities issued to each of them.
Answer this question if your response to Q2.1 is "Securities
issued under an employee incentive scheme that are not
subject to a restriction on transfer or that are to be
quoted notwithstanding there is a restriction on transfer"
and your response to Q2.2g.3 is "Yes". Repeat the detail
in the table below for each KMP involved in the issue.
If the securities are being issued to the KMP, repeat
the name of the KMP or insert "Same" in "Name of registered
holder". If the securities are being issued to an associate
of a KMP, insert the name of the associate in "Name of
registered holder".
Name of KMP Name of Number of
registered +securities
holder
N/A N/A N/A
------------------------------ -----------------------------
---------------------------------------------------------------------------------------------------------
2.2h.1 * The purpose(s) for which To raise additional working
the entity is issuing the capital
+securities is: To fund the retirement of
Answer this question if your debt
response to Q2.1 is "Other". To pay for the acquisition
You may select one or more of an asset [provide details
of the items in the list. below]
To pay for services rendered
[provide details below]
Other [provide details below]
Additional details :
Not applicable
----------------------------------------------------- --------------------------------------------------
2.2h.2 *Please provide any further Not applicable
information needed to understand
the circumstances in which
you are applying to have these
+securities quoted on ASX,
including (if applicable)
why the issue of the +securities
has not been previously announced
to the market in an Appendix
3B
You must answer this question
if your response to Q2.1 is
"Other". If there is no other
information to provide, please
answer "Not applicable" or
"N/A".
----------------------------------------------------- --------------------------------------------------
2.2i *Are these +securities being Not applicable
offered under a +disclosure
document or +PDS?
Answer this question if your
response to Q2.1 is any option
other than "Being issued as
part of a transaction or transactions
previously announced to the
market in an Appendix 3B".
----------------------------------------------------- --------------------------------------------------
2.2i.1 *Date of +disclosure document Not applicable
or +PDS?
Answer this question if your
response to Q2.1 is any option
other than "Being issued as
part of a transaction or transactions
previously announced to the
market in an Appendix 3B"
and your response to Q2.2i
is "Yes".
Under the Corporations Act,
the entity must apply for
quotation of the securities
within 7 days of the date
of the disclosure document
or PDS.
----------------------------------------------------- --------------------------------------------------
2.3 *The +securities to be quoted Additional +securities in
are: a class that is already quoted
Tick whichever is applicable on ASX ("existing class")
New +securities in a class
that is not yet quoted on
ASX ("new class")
----------------------------------------------------- --------------------------------------------------
Part 3A - number and type of +securities to be quoted (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "existing class" or "new class".
Question Question Answer
No.
3A.1 *ASX security code & description Not applicable
---------------------------------------------- ---------------
3A.2 *Number of +securities to Not applicable
be quoted
---------------------------------------------- ---------------
Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "existing class".
Question Question Answer
No.
3B.1 *ASX security code & description BKY - fully paid ordinary
shares
------------------------------------------------------------------ --------------------------
*Number of +securities to
3B.2 be quoted 376,480
------------------------------------------------------------------ --------------------------
3B.3a *Will the +securities to be Yes
quoted rank equally in all
respects from their issue
date with the existing issued
+securities in that class?
------------------------------------------------------------------ --------------------------
3B.3b *Is the actual date from which Not applicable
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3B.3a is "No".
------------------------------------------------------------------ --------------------------
3B.3c *Provide the actual non-ranking Not applicable
end date
Answer this question if your
response to Q3B.3a is "No"
and your response to Q3B.3b
is "Yes".
------------------------------------------------------------------ --------------------------
3B.3d *Provide the estimated non-ranking Not applicable
end period
Answer this question if your
response to Q3B.3a is "No"
and your response to Q3B.3b
is "No".
------------------------------------------------------------------ --------------------------
3B.3e *Please state the extent to Not applicable
which the +securities do not
rank equally:
* in relation to the next dividend, distribution
or
interest payment; or
* for any other reason
Answer this question if your
response to Q3B.3a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
------------------------------------------------------------------ --------------------------
Part 3C - number and type of +securities to be quoted (new class) where issue has not previously been notified to ASX in an Appendix 3B
Answer the questions in this Part if your response to Q2.1 is anything other than "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B" and your response to Q2.3 is "new class".
Question Question Answer
No.
3C.1 *Security description Not applicable
----------------------------------------------------------------------------- -----------------------------
3C.2 *Security type Ordinary fully or partly
Select one item from the list paid shares/units
that best describes the securities Options
the subject of this form. +Convertible debt
This will determine more detailed securities
questions to be asked about Non-convertible +debt
the security later in this securities
section. Select "ordinary Redeemable preference
fully or partly paid shares/units" shares/units
for stapled securities or Other
CDIs. For interest rate securities,
please select the appropriate
choice from either "Convertible
debt securities" or "Non-convertible
debt securities". Select "Other"
for performance shares/units
and performance options/rights
or if the selections available
in the list do not appropriately
describe the security being
issued.
----------------------------------------------------------------------------- -----------------------------
3C.3 ISIN code Not applicable
Answer this question if you
are an entity incorporated
outside Australia and you
are seeking quotation of a
new class of securities other
than CDIs. See also the note
at the top of this form.
----------------------------------------------------------------------------- -----------------------------
3C.4 *Number of +securities to Not applicable
be quoted
----------------------------------------------------------------------------- -----------------------------
3C.5a *Will all the +securities Not applicable
issued in this class rank
equally in all respects from
the issue date?
----------------------------------------------------------------------------- -----------------------------
3C.5b *Is the actual date from which Not applicable
the +securities will rank
equally (non-ranking end date)
known?
Answer this question if your
response to Q3C.5a is "No".
----------------------------------------------------------------------------- -----------------------------
3C.5c *Provide the actual non-ranking Not applicable
end date
Answer this question if your
response to Q3C.5a is "No"
and your response to Q3C.5b
is "Yes".
----------------------------------------------------------------------------- -----------------------------
3C.5d *Provide the estimated non-ranking Not applicable
end period
Answer this question if your
response to Q3C.5a is "No"
and your response to Q3C.5b
is "No".
----------------------------------------------------------------------------- -----------------------------
3C.5e *Please state the extent to Not applicable
which the +securities do not
rank equally:
* in relation to the next dividend, distribution or
interest payment; or
* for any other reason
Answer this question if your
response to Q3C.5a is "No".
For example, the securities
may not rank at all, or may
rank proportionately based
on the percentage of the period
in question they have been
on issue, for the next dividend,
distribution or interest payment;
or they may not be entitled
to participate in some other
event, such as an entitlement
issue.
----------------------------------------------------------------------------- -----------------------------
3C.6 Please attach a document or Not applicable
provide a URL link for a document
lodged with ASX setting out
the material terms of the
+securities to be quoted
You may cross-reference a
disclosure document, PDS,
information memorandum, investor
presentation or other announcement
with this information provided
it has been released to the
ASX Market Announcements Platform.
----------------------------------------------------------------------------- -----------------------------
3C.7 *Have you received confirmation Not applicable
from ASX that the terms of
the +securities are appropriate
and equitable under listing
rule 6.1?
Answer this question only
if you are an ASX Listing.
(ASX Foreign Exempt Listings
and ASX Debt Listings do not
have to answer this question).
If your response is "No" and
the securities have any unusual
terms, you should approach
ASX as soon as possible for
confirmation under listing
rule 6.1 that the terms are
appropriate and equitable.
----------------------------------------------------------------------------- -----------------------------
3C.8 *Provide a distribution schedule for the new +securities
according to the categories set out in the left hand
column - including the number of recipients and the total
percentage of the new +securities held by the recipients
in each category. Number of Number of Total
+securities holders percentage
held of
+securities
held
1 - 1,000
--------------------------- ---------------------------
1,001 - 5,000
--------------------------- ---------------------------
5,001 - 10,000
--------------------------- ---------------------------
10,001 - 100,000
--------------------------- ---------------------------
100,001 and over
--------------------------- ---------------------------
Answer this question only if you are an ASX Listing (ASX
Foreign Exempt Listings and ASX Debt Listings do not
have to answer this question) and the securities to be
quoted have already been issued.
Note: if the securities to be quoted have not yet been
issued, under listing rule 3.10.5, you will need to provide
to ASX a list of the 20 largest recipients of the new
+securities, and the number and percentage of the new
+securities received by each of those recipients, and
a distribution schedule for the securities when they
are issued.
------------------------------------------------------------------------------------------------------------
3C.9a Ordinary fully or partly paid shares/units details
Answer the questions in this section if you selected
this security type in your response to Question 3C.2.
------------------------------------------------------------------------------------------------------------
* + Security currency Not applicable
This is the currency in which
the face amount of an issue
is denominated. It will also
typically be the currency
in which distributions are
declared.
--------------------------------------------------------------------------- -------------------------------
*Will there be CDIs issued Not applicable
over the + securities?
--------------------------------------------------------------------------- -------------------------------
*CDI ratio Not applicable
Answer this question if you
answered "Yes" to the previous
question. This is the ratio
at which CDIs can be transmuted
into the underlying security
(e.g. 4:1 means 4 CDIs represent
1 underlying security whereas
1:4 means 1 CDI represents
4 underlying securities).
--------------------------------------------------------------------------- -------------------------------
*Is it a partly paid class Not applicable
of + security?
--------------------------------------------------------------------------- -------------------------------
*Paid up amount: unpaid amount Not applicable
Answer this question if answered
"Yes" to the previous question.
The paid up amount represents
the amount of application
money and/or calls which
have been paid on any security
considered 'partly paid'
The unpaid amount represents
the unpaid or yet to be called
amount on any security considered
'partly paid'.
The amounts should be provided
per the security currency
(e.g. if the security currency
is AUD, then the paid up
and unpaid amount per security
in AUD).
--------------------------------------------------------------------------- -------------------------------
*Is it a stapled + security? Not applicable
This is a security class
that comprises a number of
ordinary shares and/or ordinary
units issued by separate
entities that are stapled
together for the purposes
of trading.
--------------------------------------------------------------------------- -------------------------------
3C.9b Option details
Answer the questions in this section if you selected
this security type in your response to Question 3C.2.
------------------------------------------------------------------------------------------------------------
* + Security currency Not applicable
This is the currency in which
the exercise price is payable.
--------------------------------------------------------------------------- -------------------------------
*Exercise price Not applicable
The price at which each option
can be exercised and convert
into the underlying security.
The exercise price should
be provided per the security
currency (i.e. if the security
currency is AUD, the exercise
price should be expressed
in AUD).
--------------------------------------------------------------------------- -------------------------------
*Expiry date Not applicable
The date on which the options
expire or terminate.
--------------------------------------------------------------------------- -------------------------------
*Details of the number and Not applicable
type of + security (including
its ASX security code if
the + security is quoted
on ASX) that will be issued
if an option is exercised
For example, if the option
can be exercised to receive
one fully paid ordinary share
with ASX security code ABC,
please insert "One fully
paid ordinary share (ASX:ABC)".
--------------------------------------------------------------------------- -------------------------------
3C.9c Details of non-convertible +debt securities, +convertible
debt securities, or redeemable preference shares/units
Answer the questions in this section if you selected
one of these security types in your response to Question
3C.2.
Refer to Guidance Note 34 and the " Guide to the Naming
Conventions and Security Descriptions for ASX Quoted
Debt and Hybrid Securities " for further information
on certain terms used in this section
------------------------------------------------------------------------------------------------------------
*Type of + security Simple corporate bond
Select one item from the Non-convertible note or bond
list Convertible note or bond
Preference share/unit
Capital note
Hybrid security
Other
--------------------------------------------------------------------------- -------------------------------
* + Security currency Not applicable
This is the currency in which
the face value of the security
is denominated. It will also
typically be the currency
in which interest or distributions
are paid.
--------------------------------------------------------------------------- -------------------------------
Face value Not applicable
This is the principal amount
of each security.
The face value should be
provided per the security
currency (i.e. if security
currency is AUD, then the
face value per security in
AUD).
--------------------------------------------------------------------------- -------------------------------
*Interest rate type Fixed rate
Select one item from the Floating rate
list Indexed rate
Select the appropriate interest Variable rate
rate type per the terms of Zero coupon/no interest
the security. Definitions Other
for each type are provided
in the Guide to the Naming
Conventions and Security
Descriptions for ASX Quoted
Debt and Hybrid Securities
--------------------------------------------------------------------------- -------------------------------
Frequency of coupon/interest Monthly
payments per year Quarterly
Select one item from the Semi-annual
list. Annual
No coupon/interest payments
Other
--------------------------------------------------------------------------- -------------------------------
First interest payment date Not applicable
A response is not required
if you have selected "No
coupon/interest payments"
in response to the question
above on the frequency of
coupon/interest payments
--------------------------------------------------------------------------- -------------------------------
Interest rate per annum Not applicable
Answer this question if the
interest rate type is fixed.
--------------------------------------------------------------------------- -------------------------------
*Is the interest rate per Not applicable
annum estimated at this time?
Answer this question if the
interest rate type is fixed.
--------------------------------------------------------------------------- -------------------------------
If the interest rate per Not applicable
annum is estimated, then
what is the date for this
information to be announced
to the market (if known)
Answer this question if the
interest rate type is fixed
and your response to the
previous question is "Yes".
Answer "Unknown" if the date
is not known at this time.
--------------------------------------------------------------------------- -------------------------------
*Does the interest rate include Not applicable
a reference rate, base rate
or market rate (e.g. BBSW
or CPI)?
Answer this question if the
interest rate type is floating
or indexed.
--------------------------------------------------------------------------- -------------------------------
*What is the reference rate, Not applicable
base rate or market rate?
Answer this question if the
interest rate type is floating
or indexed and your response
to the previous question
is "Yes".
--------------------------------------------------------------------------- -------------------------------
*Does the interest rate include Not applicable
a margin above the reference
rate, base rate or market
rate?
Answer this question if the
interest rate type is floating
or indexed.
--------------------------------------------------------------------------- -------------------------------
*What is the margin above Not applicable
the reference rate, base
rate or market rate (expressed
as a percent per annum)
Answer this question if
the interest rate type is
floating or indexed and your
response to the previous
question is "Yes" .
--------------------------------------------------------------------------- -------------------------------
*S128F of the Income Tax s128F exempt
Assessment Act status applicable Not s128F exempt
to the + security s128F exemption
Select one item from the status unknown
list Not applicable
For financial products which
are likely to give rise to
a payment to which s128F
of the Income Tax Assessment
Act applies, ASX requests
issuers to confirm the s128F
status of the security:
* "s128F exempt" means interest payments are not
taxable to non-residents;
* "Not s128F exempt" means interest payments are
taxable to non-residents;
* "s128F exemption status unknown" means the issuer is
unable to advise the status;
* "Not applicable" means s128F is not applicable to
this security
--------------------------------------------------------------------------- -------------------------------
*Is the + security perpetual Not applicable
(i.e. no maturity date)?
--------------------------------------------------------------------------- -------------------------------
*Maturity date Not applicable
Answer this question if the
security is not perpetual
--------------------------------------------------------------------------- -------------------------------
*Select other features applicable Simple
to the + security Subordinated
Up to 4 features can be selected. Secured
Further information is available Converting
in the Guide to the Naming Convertible
Conventions and Security Transformable
Descriptions for ASX Quoted Exchangeable
Debt and Hybrid Securities. Cumulative
Non-Cumulative
Redeemable
Extendable
Reset
Step-Down
Step-Up
Stapled
None of the
above
--------------------------------------------------------------------------- -------------------------------
*Is there a first trigger Not applicable
date on which a right of
conversion, redemption, call
or put can be exercised (whichever
is first)?
--------------------------------------------------------------------------- -------------------------------
*If yes, what is the first Not applicable
trigger date
Answer this question if
your response to the previous
question is "Yes" .
--------------------------------------------------------------------------- -------------------------------
Details of the number and Not applicable
type of + security (including
its ASX security code if
the + security is quoted
on ASX) that will be issued
if the +securities to be
quoted are converted, transformed
or exchanged
Answer this question if the
security features include
"converting", "convertible",
"transformable" or "exchangeable".
For example, if the security
can be converted into 1,000
fully paid ordinary shares
with ASX security code ABC,
please insert "1,000 fully
paid ordinary shares (ASX:ABC)".
--------------------------------------------------------------------------- -------------------------------
Part 4 - Issue details
Question Question Answer
No.
4.1 *Have the +securities to Yes
be quoted been issued yet?
---------------------------------------------- ----------------------------------------------
4.1a *What was their date of issue? 26 March 2021
Answer this question if your
response to Q4.1 is "Yes".
---------------------------------------------- ----------------------------------------------
4.1b *What is their proposed date Not applicable
of issue?
Answer this question if your
response to Q4.1 is "No".
---------------------------------------------- ----------------------------------------------
4.2 *Are the +securities to be No
quoted being issued for a
cash consideration?
If the securities are being
issued for nil cash
consideration,
answer this question "No".
---------------------------------------------- ----------------------------------------------
4.2a *In what currency is the Not applicable
cash consideration being
paid
For example, if the
consideration
is being paid in Australian
Dollars, state AUD.
Answer this question if your
response to Q4.2 is "Yes".
---------------------------------------------- ----------------------------------------------
4.2b * What is the issue price Not applicable
per +security
Answer this question if your
response to Q4.2 is "Yes"
and by reference to the issue
currency provided in your
response to Q4.2a.
Note: you cannot enter a
nil amount here. If the
securities
are being issued for nil
cash consideration, answer
Q4.2 as "No" and complete
Q4.2c and Q4.2d.
---------------------------------------------- ----------------------------------------------
4.2c Please describe the Exercise of 800,000 unlisted
consideration options pursuant to a cashless
being provided for the exercise facility, resulting
+securities in the issue of 376,480 shares,
to be quoted per the Company's shareholder
Answer this question if your approved long-term incentive
response to Q4.2 is "No". equity plan
---------------------------------------------- ----------------------------------------------
4.2d Please provide an estimate Not applicable
(in AUD) of the value of
the consideration being provided
per +security for the
+securities
to be quoted
Answer this question if your
response to Q4.2 is "No".
---------------------------------------------- ----------------------------------------------
4.3 Any other information the Not applicable
entity wishes to provide
about the issue
---------------------------------------------- ----------------------------------------------
Part 5 - Issued capital following quotation
Following the quotation of the +securities the subject of this
application, the issued capital of the entity will comprise:
Note: the figures provided in the tables in sections 5.1 and
5.2 below are used to calculate the total market capitalisation
of the entity published by ASX from time to time. Please make
sure you include in the relevant table each class of securities
issued by the entity.
If you have quoted CHESS Depository Interests (CDIs) issued
over your securities, include them in the table in section 5.1
and include in the table in section 5.2 any securities that
do not have CDIs issued over them (and therefore are not quoted
on ASX).
Restricted securities should only be included in the table in
section 5.1 if you are applying to have them quoted because
the escrow period for the securities has expired or is about
to expire. Otherwise include them in the table in section 5.2.
5.1 *Quoted +securities (total number of each +class of +securities
quoted on ASX following the +quotation of the +securities
the subject of this application) ASX security code and Total number of +securities
description on issue
BKY: Ordinary fully paid shares 258,981,900
-----------------------------------------
-------------------------------------------------------------------------------------------------------------------------------------------------
5.2 *Unquoted +securities (total number of each +class of
+securities issued but not quoted on ASX): ASX security code and description Total number
of +securities
on issue
BKYAQ - Performance Share Rights expiring
31 December 2021
BKYAS - Convertible loan note with a
principal amount of US$65 million,
convertible
into 186,814,815 ordinary shares at a
conversion floor price of GBP0.27 per
share expiring 30 November 2021
BKYAR - Unlisted options exercisable 200,000
at GBP0.60 each, vesting on conversion
of the Convertible Loan Note and expiring
the earlier of 12 months after vesting
or on 30 November 2022
186,814,815
BKYAT - Unlisted options exercisable
at $0.35 each on or before 31 December
2022
BKYAR - Unlisted options exercisable 10,088,625
at GBP0.75 each, vesting on conversion
of the Convertible Loan Note and expiring
the earlier of 18 months after vesting
or on 30 May 2023 2,900,000
BKYAU - Unlisted options exercisable
at $0.40 each on or before 31 December 15,132,937
2023
BKYAR - Unlisted options exercisable
at GBP1.00 each, vesting on conversion 3,700,000
of the Convertible Loan Note and expiring
the earlier of 24 months after vesting
or on 30 November 2023. 25,221,562
-----------------------------
-------------------------------------------------------------------------------------------------------------------------------------------------
Part 6 - Other Listing Rule requirements
The questions in this Part should only be answered if you are an ASX Listing (ASX Foreign Exempt Listings and ASX Debt Listings do not need to complete this Part) and:
- your response to Q2.1 is "Being issued under a dividend/distribution plan" and the response to Q2.2b.2 is "No"; or
- your response to Q2.1 is "Other".
Note that if your response to Q2.1 is "Being issued as part of a transaction or transactions previously announced to the market in an Appendix 3B", it is assumed that you will have provided the information referred to in this Part in the Appendix 3B.
Question Question Answer
No.
6.1 *Has the entity obtained, Not applicable
or is it obtaining, +security
holder approval for the issue
under listing rule 7.1?
------------------------------------------------ ----------------------------
6.1a *Date of meeting or proposed Not applicable
meeting to approve the issue
under listing rule 7.1
Answer this question if the
response to Q6.1 is "Yes".
------------------------------------------------ ----------------------------
6.1b *Are any of the +securities Not applicable
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No".
------------------------------------------------ ----------------------------
6.1b.1 *How many +securities are Not applicable
being issued without +security
holder approval using the
entity's 15% placement capacity
under listing rule 7.1?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.1b is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure B
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1 to issue that number of
securities.
------------------------------------------------ ----------------------------
6.1c *Are any of the +securities Not applicable
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A (if applicable)?
Answer this question if the
response to Q6.1 is "No".
------------------------------------------------ ----------------------------
6.1c.1 *How many +securities are Not applicable
being issued without +security
holder approval using the
entity's additional 10% placement
capacity under listing rule
7.1A?
Answer this question if the
response to Q6.1 is "No" and
the response to Q6.1c is "Yes".
Please complete and separately
send by email to your ASX
listings adviser a work sheet
in the form of Annexure C
to Guidance Note 21 confirming
the entity has the available
capacity under listing rule
7.1A to issue that number
of securities.
------------------------------------------------ ----------------------------
Introduced 01/12/19, amended 31/01/20
26 March 2021
NOTICE UNDER SECTION 708A
Berkeley Energia Limited ("the Company") has today issued 376,480 fully paid ordinary shares. The issued shares are part of a class of securities quoted on Australian Securities Exchange ("ASX").
The Company hereby notifies ASX under paragraph 708A(5)(e) of the Corporations Act 2001 (Cwth)(the "Act") that:
1. the Company issued the securities without disclosure to investors under Part 6D.2 of the Act;
2. as at the date of this notice, the Company has complied with the provisions of Chapter 2M of the Act as they apply to the Company, and section 674 of the Act; and
3. as at the date of this notice, there is no information that is "excluded information" within the meaning of sections 708A(7) and (8) of the Act.
[1] Appendix 2A of the Listing Rules includes a warranty that an offer of the securities for sale within 12 months after their issue will not require disclosure under section 707(3) or 1012C(6) of the Corporations Act. If the securities to be quoted have been issued by way of a pro rata offer, to give this warranty, you will generally need to have lodged a cleansing notice with ASX under section 708AA(2)(f) or 1012DAA(2)(f) of the Corporations Act within 24 hours before the securities are offered (see ASIC Regulatory Guide 189 Disclosure relief for rights issues). If in doubt, please consult your legal adviser.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
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END
IOESELSDMEFSEID
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March 26, 2021 03:00 ET (07:00 GMT)
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